Broker-Dealer Compliance - Associate New York, NY, United States

iCapital; Salt Lake City (UT); On-site; USD 90,000 - 115,000; Full time

Job summary

An established industry player is seeking a Compliance Associate to enhance its Regulatory and Compliance group. This role focuses on overseeing employee compliance matters, including personal trading and outside business activities. The ideal candidate will thrive in a fast-paced environment, assisting in policy updates, training, and responding to regulatory inquiries. With a competitive salary and a comprehensive benefits package, including equity and unlimited PTO, this position offers an exciting opportunity to contribute to a leading financial technology platform. Join a team where innovation and collaboration drive success.

Benefits

Equity for all full-time employees

Employer matched retirement plan

Subsidized healthcare

100% employer paid dental and vision

Telemedicine

Virtual mental health counseling

Parental leave

Unlimited paid time off (PTO)

Qualifications

• 2-5 years of broker-dealer compliance experience preferred.
• Strong knowledge of FINRA rules and excellent communication skills.

Responsibilities

• Collaborate on marketing initiatives providing compliance guidance.
• Maintain and update policies based on regulatory developments.

Skills

Compliance Knowledge

Verbal Communication Skills

Project Management

Regulatory Knowledge (FINRA)

Personal Interaction Skills

Education

Juris Doctor (JD)

Job description

iCapital is powering the world’s alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital services approximately $218 billion in global client assets invested in 1,760 funds, as of January 2025.

iCapital has been named to the Forbes Fintech 50 for seven consecutive years (2018-2024); a three-time selection by Forbes to its list of Best Startup Employers (2021-2023); and a four-time winner of MMI/Barron’s Solutions Provider award.

About the Role

iCapital is looking for a Compliance Associate candidate to join its Regulatory and Compliance group, focused on broker-dealer compliance. This team member will oversee employee-related compliance matters such as the review and approval of employees' outside brokerage accounts, personal trading activities, private investments, and outside business activities. The candidate will also be responsible for generally assisting the Regulatory and Compliance team with various compliance focused tasks, including updates to policies and procedures and monitoring and testing.

Responsibilities

• Collaborate across various business lines on new marketing initiatives, providing compliance guidance.
• Assist in maintaining and updating policies and procedures based on new regulatory developments and new business initiatives.
• Assist in developing and conducting company-wide training to meet both SEC and FINRA obligations.
• Assist in preparing for and responding to inquiries and audits from regulatory authorities.

Qualifications

• 2-5 years of experience, preferably with broker dealer experience.
• Strong knowledge of the FINRA rules.
• Excellent verbal communication skills and strong ability for personal interaction.
• Able to thrive in a fast-paced environment with a continuous learning mindset.
• Robust project management and process development skills.
• JD a plus, but not required.

The base salary range for this role is $90,000 to $115,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).

We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.

iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.